Kent G. London
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kent Gray London was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1983. Kent had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2000 - October 17, 2012
CANTELLA & CO., INC.
October 31, 1997 - December 31, 1999
NLBS ADVISERS, INC.
December 1, 1987 - November 7, 1997
HOWE, MENDALL & ASSOCIATES, INC.
May 11, 1987 - December 21, 1987
ROBERT THOMAS SECURITIES, INC
April 30, 1987 - May 22, 1987
NLBS ADVISERS, INC.
September 30, 1985 - May 13, 1987
ADVEST, INC.
March 12, 1984 - September 30, 1985
BURGESS & LEITH INCORPORATED
January 30, 1984 - March 10, 1984
MONVEST SECURITIES, INC.
June 22, 1983 - February 1, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
